Cboe Options Exchanges Disciplinary Actions

File No. USRI-9050-01 | Star No. 20180599149
October 9, 2020
Letter of Consent No. 20180599149, Lakeshore Securities, L.P. and Sean P. Moran
File No. USRI-8834-01 | Star No. 20180603309
September 30, 2020
Letter of Consent No. 20180603309, National Financial Services, LLC
File Nos. USRI-8678-01 & USRI-8762-01 | Star Nos. 20150442463 and 20170535088
August 5, 2020
Letter of Consent Nos. 20150442463 and 20170535088, Morgan Stanley & Co. LLC
File No. USE-1990-01 | Star No. 20170523789
June 10, 2020
Letter of Consent No. 20170523789, Consolidated Trading LLC and Ilan Shalit
File No. USE-2023 | Star No. 20180571734
May 28, 2020
Letter of Consent No. 20180571734, Susquehanna Investment Group
File No. USRI-7934 | Star No. 2015048329306
April 30, 2020
Letter of Consent No. 2015048329306, Morgan Stanley & Co. LLC
File No. USRI-8749 | Star No. 20170559003
April 8, 2020
Letter of Consent No. 20170559003, SG Americas Securities, LLC
File No. USRI-8779 | Star No. 20180589363
February 13, 2020
Letter of Consent No. 20180589363, Two Sigma Securities, LLC
File No. USE-2005 | Star Nos. 20180562511 and 20180571704
February 4, 2020
Letter of Consent Nos. 20180562511 and 20180571704 , Lupo Securities, LLC
File No. USRI-8706 | Star No. 20180592148
January 30, 2020
Letter of Consent No. 20180592148, Sumo Capital, LLC
File No. USE-1690 | Star No. 20160487706
January 29, 2020
Letter of Consent No. 20160487706, Credit Suisse Securities (USA) LLC
File No. USRI-8681 | Star No. 20180590083
January 23, 2020
Letter of Consent No. 20180590083, Citadel Securities LLC
File No. USE-1822 | Star No. 20170531285
January 22, 2020
Letter of Consent No. 20170531285, Morgan Stanley & Co. LLC
File Nos. USRI-8695 and USRI-8835 | Star Nos. 20170546006 and 20180608810
January 2, 2020
Consolidated Offer of Settlement and Letter of Consent Nos. 20170546006 and 20180608810, Cutler Group, LP

Cboe Options Disciplinary Actions Archive